Your key compliance resource
Today’s ever-changing regulatory environment makes it difficult for financial institutions to maintain an effective compliance program.
Wipfli can help.
Our professionals bring real-world experience to deliver the industry and compliance knowledge you need. Our team is made up of former financial institution compliance officers, compliance auditors, regulatory examiners, certified regulatory compliance managers, certified anti-money laundering specialists and certified risk assurance specialists. Having worked in the trenches, they understand the realities you face and can provide the help and guidance you need to be successful.
Regulatory compliance services
Take a regulatory compliance approach centered on risk-based solutions, best practices and service excellence. Our specialists:
- Provide compliance support for new products, services and marketing campaigns
- Perform routine compliance monitoring and provide solutions to the issues we detect
- Help develop compliance policies and procedures
- Assist you with compliance due diligence for mergers and acquisitions
- Conduct pre-regulatory compliance examinations coaching and testing and help you with preparedness
- Assist in remediation of post-regulatory compliance examination findings
- Train staff, boards, and compliance and BSA personnel
- Keep you up to date on new and changing regulations and industry trends
- Answer day-to-day compliance questions
- Train and mentor new compliance and BSA officers
- Provide outsourced BSA and compliance support
We provide services related to the following:
- Bank Secrecy Act
- Regulatory compliance
- Compliance enforcement action remediation
- Compliance examinations
- Compliance management systems
- Fair lending
- Risk assessments
- Outsourced regulatory compliance support
Featured Thought Leader
Kathy Enbom, CRCM
Kathy Enbom is a leader of the firm’s regulatory compliance and Bank Secrecy Act (BSA) services. She has an extensive background in regulatory compliance, marketing, and leadership that includes significant training in developing, delivering, and implementing instructional programs. Kathy uses this experience to enhance consultative interaction by providing guidance and resources to assist clients in improving their overall compliance management system.
Melissa D. Blaser, CPA, CRCM, CAMS, CFSA, CFIRS
Melissa Blaser leads the regulatory compliance and Bank Secrecy Act practice for the firm. She assists financial institutions in navigating the complex requirements included within consumer federal bank regulations. Melissa has 25 years of experience in regulatory compliance, internal audit, and public accounting for the financial services industry within a Bank environment and within a public accounting/consulting firm.
Robin Guthridge, CAMS, CRCM
Robin is the BSA compliance practice leader at Wipfli. In addition to performing BSA examinations and validations of automated surveillance monitoring systems, she provides high-level consultations regarding all aspects of the BSA and assists institutions with post-examination remediation and enforcement-action resolution. Robin is a sought-after speaker for local, state and national industry events and provides customized BSA and deposit compliance training solutions.